SIE: Automatic Exemptions

Taken from our SIE Online Guide

Automatic Exemptions

Broker-dealers prohibited from engaging in business under this rule may qualify for an automatic exemption from the rule if the following three requirements are met:

1. The dealer or advisor discovered the triggering political contribution within four months of the date of the contribution

+ Read More

More SIE Info

What are people saying?

Create an Account

Since you're reading about SIE: Automatic Exemptions, you might also be interested in:

Series 53 - 1.1.2. Securities Exchange Act of 1934

Series 7 - 12.5.3 Sales of Securities at Reduced Prices

Series 79 - Foreign Exchanges

Series 50 - Soliciting the Bid

Series 66 - Termination or Restriction of a Registration

SIE - 5.3.8.2. Capital Gains on the Sale of Mutual Fund Shares

Series 6 - 6.3.5. Settlement Options for Insurance Policies

Series 26 - Review of Transactions and Correspondence

Series 65 - More Options Terminology

Series 6 - 5.1.3.2. Mutual Fund Shares (A, B, and C shares)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my SIE. I was using Kaplan and it was not working out as well. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH

What an excellent resource! I passed my SIE Exam on my first try and Solomon Exam Prep did an excellent job preparing me for the test. I would highly recommend purchasing the study guide, video lectures, and the exam simulator. The exam simulator is especially helpful. As long as you are scoring consistently in the mid to high seventies on the timed practice exams, you will have no problem with the actual exam. Thank you again to Solomon!

Carter Spearry, Merrill Lynch. Rocky River, OH

THANK YOU SOLOMON! I passed the SIE in December and Series 6 in February. I do not have a background in finance. The study materials prepared me wonderfully for the exams. I used the study schedule - took a ton of practice exams and re-read the material. Also, the testimonials were very encouraging, so I had to share that I had the same amazing experience. Thank you so much!

Candace Chavez, Cetera Investment Services. Wimberley, TX

I passed the SIE with the help of the practice exams from this course. The practice exams from this course seemed a bit needlessly difficult compared to the actual exam I took. While it prepared me well, it caused a lot of unnecessary stress. Don’t over do it on the practice exams.

Christian Heer, Merrill lynch . Los angeles, CA

I passed first try on the SIE. Thanks to Solomon! The exam simulator is super helpful for prepping for test day.

William Windham, Solebury. Brooklyn, NY

Passed SIE today! The tools and layout here was instrumental in my success. On to the S7...

Ronald Adams Northwestern Mutual Milwaukee, WI

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

SIE: Automatic Exemptions

Taken from our SIE Online Guide

Automatic Exemptions

Since you're reading about SIE: Automatic Exemptions, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →